An irreverent Wall Street Blog
by Bill Singer

EMPLOYMENT TUESDAY at BrokeAndBroker.com

October 1, 2012

EMPLOYMENT TUESDAY AT BROKEANDBROKER.COM

Visit the BrokeAndBroker 


Sep 29Examination ManagerFinraAtlanta, GA

We Work to Protect Investors.Join our Team. FINRA is seeking a well-qualified individual for our Examination Manager opening in our Atlanta, GA office.To be considered for this... more

Sep 29Personal Banker - Wilshire and Beverly - Beverly Hills, CA ((FINRA Series 6/63 & CA Insurance LicensChaseBeverly Hills, CA

Play a vital role in the customer banking experience at Chase! As part of JPMorgan Chase, a leading global financial services firm, Chase has over 5,200 locations where our... more

Sep 29Financial Advisor - DE/PA Life/Health, FINRAVolt Information SciencesPittsburgh, PA

Financial Advisor - DIRECT HIRE - Pittsburgh, PA With DE or PA Life and Health Insurance Licenses FINRA Series 6 and/or 7 AND 63, 65, and/or 66 PAY RATE: SALARY (W2) OR STRAIGHT... more

Sep 28Financial Advisor - DE/PA Life/Health, FINRA - Pittsburgh, PVolt Information SciencesPittsburgh, PA

Financial Advisor - DE/PA Life/Health, FINRA - Pittsburgh, PA Posted on:09/27/12 Job Number: 300398-8907-1-309828 Add to Cart Email to a Friend Location: Pittsburgh, PA... more

Sep 28Compliance Examiner - Member RegulationFinraChicago, IL

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual forfuture Compliance Examiner opportunities in Chicago, IL . To be considered for this... more

Sep 28IS Audit Project Leader II/Auditor IIIFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our IS Auditor III/Audit Project Leader II opening in Rockville, MD . Level offered... more

Sep 28Financial Advisor - DE/PA Life/Health, FINRA - Williamsport,Volt Information SciencesWilliamsport, PA

Financial Advisor - DE/PA Life/Health, FINRA - Williamsport, PA Posted on:09/27/12 Job Number: 300398-8907-1-309829 Add to Cart Email to a Friend Location: Williamsport, PA... more

Sep 24Financial Operations ExaminerFinraNew York, NY

FINRA is seeking a well qualified individual for our Financial Operations Examiner opening in New York, NY. Conducts on-site examinations and assesses Floor member and member... more

Sep 24Regulatory Analyst - Market Regulation, BXFinraNew York, NY

The Regulatory Analyst conducts routine review and investigations of unusual market activity for evidence of violations of applicable securities laws, rules and regulations... more

Sep 24Director, Corporate RecordsFinraGaithersburg, MD

The Director of Corporate Records (DCR) is responsible for senior level oversight of FINRA's Records Management Program. With guidance from the FINRA Records Management Board, the... more

Sep 24Director II, Fixed Income RegulationFinraWashington, Dc

The Director, Fixed Income Regulation, working independently, provides leadership, oversight and supervision of FINRA's regulatory program for fixed income securities with a... more

Sep 21Public Offerings AnalystFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Public Offerings Analyst opening in Rockville, MD . To be considered for this... more

Sep 20Regulatory Analyst - Market Regulation, Short Interest - RockvilFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Regulatory Analyst opening in Rockville, MD . To be considered for this position,... more

Sep 19Personal Banker - West Los Angeles, CA (FINRASeries 6/63 & CA Insurance Licenses Preferred)ChaseWest Los Angeles, CA

Play a vital role in the customer banking experience at Chase! Aspart of JPMorgan Chase, a leading global financial services firm,Chase has over 5,200 locations where our bankers... more

Sep 17Sr. Broker Dealer Customer Service Rep (FINRA Series 6 or 7 license required)MetLifeNew Jersey

Job Summary: Senior level job which provides assistance to sales representatives, other sales personnel and external clients by answering toll free 800 phones lines, servicing a... more

Sep 14Financial Advisor - PA Life/Health, FINRA - DIRECT HIREVolt Information SciencesJohnstown, PA

Financial Advisor - DIRECT HIRE - Johnstown, PA With PA Life and Health Insurance Licenses FINRA Series 6 and/or 7 AND 63, 65, and/or 66 Volt Workforce Solutions has a Direct Hire... more

Sep 14Legal Counsel - Market RegulationFinraChicago, IL

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Legal Counsel opening in Chicago, IL . To be considered for this position, please... more

Sep 12Financial Advisor PA Life/Health, FINRA - DIRECT HIREVolt Information SciencesWilliamsport, PA

Financial Advisor - DIRECT HIRE - Williamsport, PA With PA Life and Health Insurance Licenses FINRA Series 6 and/or 7 AND 63, 65, and/or 66 Volt Workforce Solutions has a Direct... more

Sep 12Enterprise Architect - New York, NY orFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Enterprise Architect opening in New York, NY or Rockville, MD. To be considered... more

Sep 11Compliance Examiner - Market Regulation, TMMS OptionsFinraNew York, NY

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Regulatory Analyst opening in Rockville, MD . To be considered for this position,... more

Sep 11Regulatory Analyst - Market Regulation, Trading Practices - RockFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Regulatory Analyst opening in Rockville, MD . To be considered for this position,... more

Sep 07Director, Corporate RecordsFinra - Financial Industry Regulatory AuthorityRockville, MD

We Work to Protect Investors Join our Team FINRA is seeking a wellqualified individual for our Director Corporate Records opening in Rockville MD To be considered for this... more

Permalink

Search BrokeAndBroker

Related Topics

Previous Entries

Tag Cloud

Bill Singer BrokeAndBroker FINRA Arbitration AWC SEC BrokeAndBroker.com Expungement Employment Street Sweeper Bill SInger Jobs Wells Fargo OBA Fraud U5 Promissory Note Email U4 Merrill Lynch Wire Fraud UBS Guest Blog Elderly Morgan Stanley Forbes EFL FBI Guest Blogger PST Defamation Statutory Disqualification Suitability CRD ALJ Citigroup Ponzi Rule 3270 Borrowing Supervision Whistleblower BrokerCheck Outside Business Activity OIP BrokerAndBroker Aegis Frumento Bank IRS Form U4 Felony Wachovia DOJ Willful Wrongful Termination Supreme Court NAC SDNY Ameriprise Pro Se IRA Mail Fraud Discretion Expenses Rule 2080 WSP CCO OHO Insider Trading Wife Checks BrokeAndBroker Conversion Husband Rule 8210 RIA Form U5 Employment Tuesday NASD Forgery Madoff Punitive Damages Rule 3240 Raymond James Tax Bankruptcy Dodd Frank Settlement Estate Willfulness Discovery Credit Card Frumento Rule 3040 Rule 2010 Rule 1122 JP Morgan Private Securities Transaction LPL Real Estate Commissions NYSE Power of Attorney Indictment Business Expenses Bar Wall Street Outside Business Activities 2Cir Exam Annuities Rule 3280 Impersonation Bank of America Street Legal Facebook Edward Jones ATM Mortgage Margin Tax Lien ETF Antitrust Wire Spouse Stephen Kohn Promissory Notes Case In Point Small Firm Complaint Corrective Action Statement Rule 2510 SRO Beneficiary Test Appeal Tax Liens Schapiro Offer of Settlement Trust Trustee Employee Forgivable Loan Injunction VA Due Diligence Schwab NSF Misdemeanor ARS Goldman Sachs Unauthorized Discretion NASAA CFTC T&P Conspiracy POA Signatures Spouses Away Account Securities Fraud HFT Insurance Loan PCAOB Cease And Desist Signature Fidelity OTR Lien Annuity Money Laundering Barclays Great Recession Chase Mandatory Arbitration Initial Decision Flash Crash RBC Compliance Rule 12206 Deutsche Bank Bonus Remand Rule 4511 Credit Cards Rule 3010 Failure to Supervise NASDAQ Undisclosed Settlement DCCir LOA Huffington Post Unfair Competition Bharara Lehman Brothers Continuing Education Stay email Scottrade E*Trade Eligibility Rule Burris Gallagher Variable Annuity Rule 3050 RRBDLAW.com Identity Theft Registered Rep Magazine Options MSSB Liens Solicitation Hacker Wedbush JPMorgan Unsuitability Audit Broker Protocol Apple Reimbursement Retirement employment Annual Compliance Questionnaire Fiduciary Letter of Authorization Malware Hacking Customer Disclosure Forex Stockbrokers FINRA Arbitration brokeandbroker Variable Annuities FINOP arbitration Away Accounts jobs BrokeAndBroker Bill Singer Rule 12805 Prison Willfully 2nd Circuit Second Circuit Deceased Registration Sexist Wey TRO Will Net Capital Trump Rule 4530 Solicited Social Media ACQ Motion to Dismiss OWB Customer Complaint Blockchain Dissent LIBOR Divorce Website Unauthorized Trading IC3 China MetLife Lehman Sexism Brummer Unsolicited Trading Platform Crypto Hilton Weiner Jurisdiction Sanctions Reg SP 10Cir Confidential Information Spoofing Commission Private Securities Transactions Internet RRBDlaw.com Time And Price FOREX Zipper Telephone RMBS Plea BrokeandBroker Personal Expenses Arbitraiton Judgments BrokeAndBroker.com Blog Bureau of Prisons REIT BOP Private Placement Newman Protocol Self Regulation Piwowar MC-400 Crowdfunding Statute of Limitations Postponement Dakota Securities 9Cir Joshua Brown Explained Decision Rule 12200 Stifel Nicolaus Obstruction of Justice Stifel Disgorgement Rule 2111 Marijuana Discrimination IPO Testimony Check Kiting Emails Lucia Imposter FNMA bill singer Knight Examination WSPs Rule 3110 Unjust Enrichment ADA NYAG Securities Industry Commentator Lawyer Auction Rate Securities DOL Indemnification Cheating Bonds Hedge Fund Rakoff Rule 2150 PN JOBS Act Suspension Class Action Reg D Retaliation Compensation Debit Card Appointments Clause Hurry Charles Schwab Mutual Funds CEO Board Phishing Loans Raiding OSHA Regulation SP Due Process SAC Article V Elder Abuse Botkin Conflict AML Passcode Executor Oppenheimer Pennystock Wine Morgan Stanely Fees Gold Wire Transfer MF Global Check EIA Medicare Cryptocurrency Vacatur Restaurant Severance Affiliate Confidential PNC OIG Bandimere Rule 2081 Affinity Fraud Rule 13805 Shah Gilani Rosenthal Recruiting Morgan Keegan Waiver Aleynikov Woody Allen Khuzami Bloomberg Churning Ketchum Charge Banc of America Stanford Sanction Guidelines High Frequency Trading Counterclaim Johnny Burris Teleconference PAQ Consent Order Guitron TOD McDuff Side Bar 6th Circuit USERRA Widow Charity Pennystocks Testing Embezzlement Online Self Regulatory Organization Vault Outside Account Morgan Stanley Smith Barney CE Unregistered Form ADV SunTrust Series 7 Day Trading Smith Barney Disability Rule 3030 Finder\'s Fee Information Parking Kon Cannabis Corruption Rule 4513 Commodities Fraud Margin Call White Concentration Hearing Failure To Supervise Government Accountability Project Poteroba Chief Compliance Officer Employment Agreement Bank Fraud TD Ameritrade Puerto Rico Small Firm Governor Marines Customer Information Whistleblowing Marine Corps Termination Manifest Disregard Rule 9552 Confirm Laptop Deferred Compensation TSSB Corzine Statement of Corrective Action Bear Stearns Mother Mutual Fund CNBC Casino Aguilar Sales Assistant Accounting NPR Statutory Disqualification Committee Whitman Membership Continuance Private Placements Marketplace Penson ING Yesenia Guitron Unauthorized Practice of Law 401k Bitcoin Written Supervisory Procedures Vietnam Trade Secrets Leveraged ETF Dementia Bid Rigging Ride the Thunder HSBC Eligibility Reg S-P Sexual Harassment Equity Indexed Annuities RRBDlaw FAA Sexual Discrimination Rule 2370 Investment Adviser Thain Stockbroker Excessive Trading Board of Governors Rule 12504 FINRA AWC Outside Accounts Public Interest Motion to Vacate OWWP Verbal Discretion CRS Do Not Call BD Oral Discretion Nietzsche Rule 1031 Subpoena David Lerner Negligence Christian Stanley Feigenbaum Stipulated Award Unsuitable Inside Information Standing Sharemaster Rory Flynn Florida Judgment Guest Bloggers Robert Cook Red Flags TheBlot Scholander Fine Stop Loss OCIE Hospital Settling Away Joint Account Turnover Kiting Elder Law Over Concentration Counterfeit Rule 13200 Dell TIC signature Timban Motion Probate Rule 2210 Control Person Regulation Investor Alert Client Information BrokerAndBroker.com Research 40 Act Cold Spring Advisory Group IAR Jennifer Tarr Chiasson 11th Circuit Fowler Administrative Remedies 4Cir Scottsdale ACH Female Withdrawals Taft Correctional Institution SP BrokeAndbroker Fifth Amendment Backstage Wall Street Argentina Moon Layering CGMI FCI Beaumont FCI Reverse Life Insurance Elles Inability to Pay expungement WaMu Wanger Schneiderman Tax Fraud Star Wars Third Party Vendor Commodities Slander Medical Condition Credit Suisse 9/11 401(k) SIFMA Tortious Interference Federal Reserve BATS VXX Constitution Escrow Arrest Rule 9216 Chase Investment Services CPA Obstruction Non-Solicitation Circuit Court Broke And Broker Department of Justice Non Solicitation Lincoln Financial Password Electronic Communications David Sobel Moore Money Market Netschi Congress Inmate FOCUS Commissioner Stein ADR Scam Johnson 17a-5 Kennedy AXA Microcap Annual Audit Chevron US Airways Sharing Agreement Cellphone Murray JPM Oilpro Kenneth Starr Cherry Picking Death Kent Reason for Termination Stock Promotion Lawyers Ethics Reverse Merger Google Flash Drive Reasonable Sears Dinner Tipper Currency Selling Away Outside Counsel BrokeAndBroke Tippee Mattera Wells Fargo Advisors CDO Janney Montgomery Scott Fiero Coin Varney DWI In House Counsel Offset Practice Sale Fines Merill Lynch Mary Jo White Broy UIT 8210 Expense Merger House Financial Services Non-Prosecution Agreement Pacifico Self Reporting God VIX MSPB EDNY Risk 10b-5 Rule 12212 GAP Reform FMLA Proctor Nationwide Exhaustion Doctrine Trader CD NML Theft Lek Leveraged ETFs Lewis Carroll Pension Test Center Life Settlement Advisor Placement Group Newport Coast Securities Martin PIABA Reuters Obamacare Regulation S-P Women Sterne Agee Collateral Credit Repair Excel Immunity Retired Woman With Cane Section 206 Tennis Court IM Short Sale Privilege Lee NFA Silver Compromise Kierkegaard Merrill Brokeandbroker.com Wire Transfers iPhone Attorneys\' Fees Work Product Anderson Wires Books and Records RRBDLAW Bank Guarantee LLC Fiduciary Duty Baby Boomers McCartney Summary Judgment Puts Undertaking Falsification Bill singer Securities and Exchange Commission Eric Stein Branch Manager Undercover Meals Capital Gains Altered Records Well Managed Portfolio Clayton Willfull Compliance Questionnaire Springsteen Rule 3210 Witness Tampering Disciplinary History Attorneys Fees false statements Supervisor Permanent Bar Grievance Countrywide Tran Criminal Evidence BrokeandBroker.com SEC Rules of Practice Gabelli Executrix Mary Schapiro Office of Special Counsel Apartment Resignation Rule 3310 Martoma Collateral Bar FINRA Small Firm Jon Corzine BitTorrent Data S&P Naskovets Hertz Impersonator 9th Circuit Finra Retroactive Bar Schumer Rules of Practice 1Cir Mistake Walter Elder Fraud FCPA ALJ Grimes Bartko Prime Bank Sex CMO Service Subway Amazon Molchatsky Taxes Initials Payroll Chase Bank Municipal Advisor Trainee Fee NRSRO AIG Rule 2330 Travel Trading Dow Relevant Customers Texas State Securities Board Statute of Limitation Customer Files FNI Media Rule 420 Quasi Governmental Sarbanes Oxley Conflicts NYG Capital SD Motion To Dismiss Stephen A. Kohn MBS Turbeville State Farm Bribe Preet Bharara AWC. FINRA Goble Spam Motion to Compel Constructive Discharge BIll Singer FINRA Board Diabetes Checking Skimming Texting Nasdaq Blank Forms Hugh Hewitt Bill Singer BrokeAndBroker Solomon Funds Exotic ETF Retroactive Boyland AAA FTC Promoter Books And Records BBVA Spoliation SIPC Koval Wages Rule 21F Pruco Liquidation Elon Musk FDA Cybercrime Father Transfer Enforcement Disparate Treatment Costa Rica Compliance Officer Personal Information Newbridge Fee Fourth Amendment Financial Disclosure Expert Witness Laser TCR Galleon First Amendment Libel 1099 Salman National Securities WB-APP Life Insurance Lexicon